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Chuong Quoc Thi

Principal Securities, Inc.

Des Moines, IA

Ankeny, IA

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2019-05-13
  • IA RA
    APPROVED
    Since 2019-05-13

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Ankeny, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Midland National Life West Des Moines IA 06/2015 10/2017
Parkland Securities West Des Moines IA 08/2015 12/2016
Sammons Financial Network West Des Moines IA 01/2017 10/2017
Principal Life Insurance Des Moines IA 10/2017 Present
Principal Securities Des Moines IA 11/2017 Present
  • 06/2015 → 10/2017
    Midland National Life
    West Des Moines, IA
  • 08/2015 → 12/2016
    Parkland Securities
    West Des Moines, IA
  • 01/2017 → 10/2017
    Sammons Financial Network
    West Des Moines, IA
  • 10/2017 → Present
    Principal Life Insurance
    Des Moines, IA
  • 11/2017 → Present
    Principal Securities
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-07
  • S66 Uniform Combined State Law Examination
    2019-05-07
Other Names
  • John Thi

View on SEC IAPD

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OSAIC WEALTH, INC.
EDWARD JONES
WEST FINANCIAL ADVISORS, L.L.C.
AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

More in Des Moines, IA

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